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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$340,816,534,046
Number of Records: 7,081
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$83,354,221,356271
JPMorgan Chase$36,129,269,434222
Citigroup$25,740,655,365159
Wells Fargo$22,081,446,244228
Deutsche Bank$18,541,457,30278
UBS$17,082,743,334106
Goldman Sachs$16,599,475,84889
NatWest Group PLC$13,515,546,85731
Credit Suisse$10,932,400,12651
Morgan Stanley$10,167,765,234190

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
Edward D. Jones & Co., L.P.Jones Financialinvestor protection violation2018AR-SEC$50,000
LPL Financial LLCLPL Financialinvestor protection violation2019AR-SEC$40,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2019AR-SEC$5,000
CUNA Brokerage Services, Inc.CUNA Mutualinvestor protection violation2021AR-SEC$50,000
Louis Dreyfus Commodities Grand Junction LLCLouis Dreyfustax violations2017ATTTB$14,000
Home Loan Center, Inc.LendingTreeconsumer protection violation2010AZ-AG$1,150,000
CashCall, Inc. and WS Funding LLCCashCall Inc.consumer protection violation2022AZ-AG$4,800,000
American Express Financial AdvisorsAmeriprise Financialinvestor protection violation2000AZ-CC$125,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2005AZ-CC$1,000,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2006AZ-CC$1,250,000
World Group Securities, Inc.Aegoninvestor protection violation2010AZ-CC$853,501
Titan Insurance Co.Nationwideinsurance violation2006AZ-DIFI$40,000
Moneygram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2007AZ-DIFI$125,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008AZ-DIFI$12,500
Western Union Financial Services, Inc.Western Unionconsumer protection violation2008AZ-DIFI$2,000,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009AZ-DIFI$38,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2010AZ-DIFI$10,000
Scottsdale Insurance Co.Nationwideinsurance violation2010AZ-DIFI$37,500
Titan Indemnity Co.Nationwideinsurance violation2010AZ-DIFI$20,000
Unigard Insurance Co.QBE Insuranceinsurance violation2010AZ-DIFI$16,000
QBE Insurance Corp.QBE Insuranceinsurance violation2010AZ-DIFI$40,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2011AZ-DIFI$70,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2011AZ-DIFI$15,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011AZ-DIFI$10,000
Homesite Indemnity Co.American Family Insuranceinsurance violation2011AZ-DIFI$19,000
Austin Mututal Insurance Co.American Family Insuranceinsurance violation2011AZ-DIFI$30,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
GMAC Mortgage, LLC dba DitechAlly Financialconsumer protection violation2011AZ-DIFI$7,500
GMAC Mortgage, LLCAlly Financialconsumer protection violation2011AZ-DIFI$7,500
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2012AZ-DIFI$5,000
Infinity Insurance Co.Kemperinsurance violation2012AZ-DIFI$38,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012AZ-DIFI$30,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2012AZ-DIFI$750,000
John Alden Life Insurance Co.Assurantinsurance violation2013AZ-DIFI$90,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
Time Insurance Co.Haven Holdingsinsurance violation2013AZ-DIFI$60,000
Unitrin Direct Insurance Co.Kemperinsurance violation2013AZ-DIFI$9,000
Unitrin Direct Property & Casualty Co.Kemperinsurance violation2013AZ-DIFI$18,000
Mercury Casualty Co.Mercury General Corporationinsurance violation2013AZ-DIFI$19,000
United Insurance Co.Kemperinsurance violation2013AZ-DIFI$23,000
MoneyGram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2014AZ-DIFI$10,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2015AZ-DIFI$58,000
Foremost Property & Casualty Insurance Co.Zurich Insuranceinsurance violation2015AZ-DIFI$21,000
Monumental Life Insurance Co.Aegoninsurance violation2015AZ-DIFI$57,000
Sentry Insurance A Mutual Co.Sentry Insuranceinsurance violation2015AZ-DIFI$20,000
CashCall, Inc.CashCall Inc.payday lending violation2017AZ-DIFI$250,000
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
National General Insurance CompanyAllstateinsurance violation2020AZ-DIFI$75,000
Balli Aviation Ltd. and Balli Group PLCBalli Groupexport control violation2010BIS$15,000,000
CIT Group Inc.First Citizens BancSharesexport control violation2005BIS$74,800
Bank of AmericaBank of Americaexport control violation2017BIS$44,625
Bank of New York Mellon (Shanghai Branch)Bank of New York Mellonexport control violation2011BIS$30,000
JP Morgan Chase Bank, NAJPMorgan Chaseexport control violation2010BIS$19,125
Citibank NACitigroupexport control violation2018BIS$60,000
CitibankCitigroupconsumer protection violation2008CA-AG$3,500,000
CitibankCitigroupconsumer protection violation2002CA-AG$1,600,000
Edward Jones & Co.Jones Financialinvestor protection violation2008CA-AG$7,500,000
Fidelity National Title Insurance CompanyFidelity National Financialconsumer protection violation2002CA-AG$31,148,320
First American Title Insurance CompanyFirst American Financialconsumer protection violation2002CA-AG$7,000,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004CA-AG$18,000,000
H&R BlockH&R Blockconsumer protection violation2009CA-AG$4,850,000
J.P. Morgan Chase & Co.JPMorgan Chasetoxic securities abuses2013CA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $298,973,000
Jackson Hewitt, Inc.Jackson Hewittconsumer protection violation2007CA-AG$5,000,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CA-AG$50,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2019CA-AG$150,000,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CA-AG$305,500,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2017CA-AG$125,000,000
Stewart Title Company of CaliforniaStewart Information Servicesconsumer protection violation2002CA-AG$2,500,000
U.S. BancorpU.S. Bancorpconsumer protection violation2005CA-AG$2,600,000
Wells FargoWells Fargomortgage abuses2010CA-AG$33,868,615
Wells FargoWells Fargoinvestor protection violation2009CA-AG$1,400,000,000
Wells Fargo BankWells Fargoprivacy violation2016CA-AG$8,500,000
HSBCHSBCFalse Claims Act and related2020CA-AG$7,000,000
Buckeye TerminalsIFM Investorsenvironmental violation2019CA-ARB$6,000
Vitol, Inc.Vitolenvironmental violation2014CA-ARB$70,000
Trafigura Beheer B.V. AmsterdamTrafiguraenvironmental violation2012CA-ARB$10,000
VitolVitolenvironmental violation2007CA-ARB$150,000
GlencoreGlencoreenvironmental violation2006CA-ARB$10,000
VitolVitolenvironmental violation2005CA-ARB$20,000
Vitol S.A.Vitolenvironmental violation2002CA-ARB$25,000
JP Morgan Chase Bank, NAJPMorgan Chaseemployment discrimination2019CA-DFEH$60,000
JPMorgan Chase Bank N.A.JPMorgan Chaseemployment discrimination2022CA-DFEH$16,698
Household Finance Corp. of California and Beneficial California, Inc.HSBCmortgage abuses2002CA-DFPI$8,900,000
Wells Fargo Financial California, Inc.Wells Fargoconsumer protection violation2005CA-DFPI$1,621,010
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2010CA-DFPI$118,400
Allied Cash Advance California, LLCCNG Financialpayday lending violation2011CA-DFPI$103,709
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013CA-DFPI$33,520
Wells Fargo Fund Distributor, LLCWells Fargoconsumer protection violation2014CA-DFPI$8,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2014CA-DFPI$3,141,000
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2015CA-DFPI$2,500,000
CashCall, Inc.CashCall Inc.payday lending violation2015CA-DFPI$1,000,000
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2015CA-DFPI$22,500
LendingClub Corp.LendingClub Corp.investor protection violation2015CA-DFPI$46,000
PrimeLending, A PlainsCapital CompanyHilltop Holdingsconsumer protection violation2016CA-DFPI$1,619,523
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
Guaranteed Rate, Inc.Guaranteed Rate Inc.consumer protection violation2017CA-DFPI$50,000
Ocwen Loan Servicing, LLCOcwen Financialmortgage abuses2017CA-DFPI$225,000,000
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2017CA-DFPI$30,000
Homebridge Financial Services, Inc.Homebridge Financial Servicesconsumer protection violation2017CA-DFPI$80,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2017CA-DFPI$500,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.